DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S•••••• W••••• M••••••••• I•••
Latest filing Mar 12, 2026
First filing on the tape Mar 27, 2012 · 18 filings
SEC status approved since May 5, 2017
RAUM
$582M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$582M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$194M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$582M as of Mar 12, 2026
Mar 27, 2012$64.2M then
HNW client RAUM$548M as of Mar 12, 2026
Feb 15, 2018$78.7M then
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 27, 20120 then
Employees (5.A)4 as of Mar 12, 2026
Feb 15, 20183 then
Private funds: no history
RAUM +16% over the last fiscal year+19% a year over threeIARs 3 to 0
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $194MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $365,061derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$548M94%
- Individuals$33.8M5.8%
- Individual clients
- 145reported
- HNW clients
- 201reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,593reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• •••• S•••••• | San Rafael, Ca | Apr 18, 2022 | 25 y | 1 |
| D•••• P••••• W•••••••••Certified Financial Planner | San Rafael, Ca | Nov 17, 2025 | 32 y | 4 |
| J•••• C••••• B•••••••Certified Financial Planner | San Rafael, Ca | Nov 24, 2025 | 20 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••• C••••• B••••••• from A••••••••• F•••••••• S•••••••• L••Nov 24, 2025 · Affiliated broker-dealer or bank to independent RIA
- D•••• P••••• W••••••••• from J••• M••••• P•••••• W••••• A••••••• L••Nov 17, 2025 · Other
- B••••••• •••• S•••••• from W•••• F•••• A•••••••Apr 18, 2022 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• B•••••••• •••• · President & Chief Compliance Officercontrolsince 03/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Rafael, Ca · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 12, 2026pension consulting (Item 5.G.6): yes on the filing of 2025-04-16, no on the filing of 2026-03-12peers: independent wealth managers, $500M to $1B (1,482)
- compensation changedChange between filings · filing Mar 12, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-04-16, no on the filing of 2026-03-12peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,541 to 1,593Apr 16, 2025 to Mar 12, 2026
- Advisory activities · 4 to 2Apr 16, 2025 to Mar 12, 2026
- HNW clients · 196 to 201Apr 16, 2025 to Mar 12, 2026
- Individual clients · 141 to 145Apr 16, 2025 to Mar 12, 2026
- Employees · 3 to 4Apr 16, 2025 to Mar 12, 2026
- State-registered IARs · 3 to 0Apr 16, 2025 to Mar 12, 2026
- Discretionary RAUM · $443M to $530MApr 16, 2025 to Mar 12, 2026
- HNW RAUM · $468M to $548MApr 16, 2025 to Mar 12, 2026
- Individual RAUM · $33.3M to $33.8MApr 16, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $57.7M to $51.5MApr 16, 2025 to Mar 12, 2026
- RAUM · $501M to $582MApr 16, 2025 to Mar 12, 2026
- Accounts · 1,489 to 1,541Mar 22, 2024 to Apr 16, 2025
- HNW clients · 151 to 196Mar 22, 2024 to Apr 16, 2025
- Individual clients · 181 to 141Mar 22, 2024 to Apr 16, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Apr 16, 2025
- Discretionary RAUM · $378M to $443MMar 22, 2024 to Apr 16, 2025
- HNW RAUM · $381M to $468MMar 22, 2024 to Apr 16, 2025
- Individual RAUM · $57.0M to $33.3MMar 22, 2024 to Apr 16, 2025
- Non-discretionary RAUM · $60.3M to $57.7MMar 22, 2024 to Apr 16, 2025
- RAUM · $438M to $501MMar 22, 2024 to Apr 16, 2025
- Accounts · 1,371 to 1,489Mar 8, 2023 to Mar 22, 2024
- HNW clients · 132 to 151Mar 8, 2023 to Mar 22, 2024
- Individual clients · 183 to 181Mar 8, 2023 to Mar 22, 2024
- Discretionary RAUM · $285M to $378MMar 8, 2023 to Mar 22, 2024
- HNW RAUM · $301M to $381MMar 8, 2023 to Mar 22, 2024
- Individual RAUM · $42.8M to $57.0MMar 8, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $59.2M to $60.3MMar 8, 2023 to Mar 22, 2024
- RAUM · $344M to $438MMar 8, 2023 to Mar 22, 2024
- Accounts · 1,342 to 1,371Mar 25, 2022 to Mar 8, 2023
- HNW clients · 102 to 132Mar 25, 2022 to Mar 8, 2023
- Individual clients · 192 to 183Mar 25, 2022 to Mar 8, 2023
- Discretionary RAUM · $255M to $285MMar 25, 2022 to Mar 8, 2023
- HNW RAUM · $243M to $301MMar 25, 2022 to Mar 8, 2023
- Individual RAUM · $60.3M to $42.8MMar 25, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $48.6M to $59.2MMar 25, 2022 to Mar 8, 2023
- RAUM · $303M to $344MMar 25, 2022 to Mar 8, 2023
- Accounts · 1,187 to 1,342Mar 17, 2021 to Mar 25, 2022
- Advisory activities · 3 to 4Mar 17, 2021 to Mar 25, 2022
- HNW clients · 71 to 102Mar 17, 2021 to Mar 25, 2022
- Individual clients · 286 to 192Mar 17, 2021 to Mar 25, 2022
Signals
1 dated events
- S•••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 26, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- b••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-518-8658reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••WEALTHMGT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-499-1544reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $194Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026